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Showing 901 to 910 of 2139 search results for final notice refers to breaches.
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Final Notice 2022: Hugh Edwards [pdf]
This Final Notice (Hugh Edwards) refers to breaches of FIT. We imposed a prohibition. -
Final Notice 2020: Aviva plc [pdf]
This Final Notice (Aviva plc) refers to breaches of Listing Rule 1.3.3R and Transparency Rule 1A.3.2R related to Listing rules/DTR breaches in the General Insurance and Protection sector. We issued a public censure. File updated with accessibility -
Final Notice 2022: Jeanine Lewis [pdf]
This Final Notice ( Jeanine Lewis) refers to breaches of FIT. We imposed a prohibition. -
Final Notice 2022: Charanjit Sandhu [pdf]
This Final Notice (Charanjit Sandhu) refers to breaches of FIT. We imposed a prohibition. -
Final Notice 2023: Equifax Limited [pdf]
This Final Notice relates to the outsourcing of data processing to an intragroup entity which experienced a data breach. The Final Notice refers to risk management failings (Principle 3) and failings in relation to treating customers fairly and -
Final Notice 2020: Nicholas Anderton [pdf]
This final notice (Nicholas Anderton) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2022: The TJM Partnership Limited (Formerly known as Neovision Global Capital Limited) (In Liquidation) [pdf]
This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty. -
Final Notice 2018: D & J Roofing & Building Services Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2020: Simon Charles Oakley [pdf]
This Final Notice (Simon Charles Oakley) refers to breaches of FIT by a financial adviser. We imposed a prohibition.” -
Final Notice 2021: Colin Bermingham [pdf]
This Final Notice (Colin Bermingham) refers to breaches of FIT related to Lack of fitness/propriety in the Investment Banking. We imposed a prohibition.